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Articles Tagged with suspended

When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full October 2019 report can be viewed here. In the most serious […]

When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full September 2019 report can be viewed here. In the most serious […]

August 2019 Disciplinary Actions When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full August 2019 report can be viewed here. […]

A registered representative with J.W. Cole Financial, Inc. of Vermillion, Ohio, Jeff Vasiloff (CRD#: 3180004) has been suspended by the Financial Industry Regulatory Authority (FINRA) for exercising discretion in brokerage accounts, according to his BrokerCheck report accessed on September 17, 2019. On September 6, 2019, Jeff Vasiloff entered into an Acceptance, Waiver, and Consent (AWC) […]

Eric Savell (CRD#: 4182368), formerly a registered representative with LPL Financial, has been suspended by FINRA for failing to disclose outside business activities. According to his BrokerCheck record accessed on August 27, 2019, Eric Savell entered into an Acceptance, Waiver, and Consent (AWC) with FINRA on August 5, 2019. According to the complaint, “… Savell […]

Matthew Siliato (CRD#: 5062153), who is not currently affiliated with a firm, was recently suspended by FINRA. The suspension lasted from June 12, 2019 to June 20, 2019, according to his BrokerCheck record accessed on August 8, 2019. He “failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a […]

FINRA, the Financial Industry Regulatory Authority, has suspended David Antypas (CRD #: 2603488), a financial advisor from Brentwood, Tennessee who was most recently registered with IFS Securities. David Antypas worked for six firms throughout his 23-year career, including: LPL Financial LLC (CRD# 6413) Continue Reading

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that New York-based Network 1 Financial Securities broker Robert Ciacco Jr. has been the subject of customer complaints and regulatory sanctions. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on June 28, 2016 indicate that former Florida-based JW Cole Financial broker Dennis Merritt has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Merritt (CRD# 1748115). Dennis Merritt has […]

Kentucky-based International Assets Advisory broker/adviser Steve Ridgley has been suspended from the securities industry.  The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Ridgley (CRD# 4263203). Steve Ridgley has spent fifteen years in the securities industry and has been registered with International Assets Advisory in Louisville, Kentucky since March […]

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